Broker-Dealers

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Summit Financial Joins Triad

by FA Staff

New firm brings $225 million to the Triad network.

J.M. Group Join Merrill Lynch

by FA Staff

J.M. Group, a three-person advising and portfolio management team, has joined its New York City office in Rockefeller Center from Morgan Stanley.

Voya Nabs $323M Firm From Ameriprise

by FA Staff

Archstone Financial jumps ship to Voya Financial Advisors.

JPMorgan Mulls Pay Changes After Record Low Shareholder Support

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JPMorgan Chase & Co.’s board will consider changes to how it compensates senior managers after a record low percentage of shareholders approved the latest pay packages.

From Prudential Securities To Lawyer To Pro Coach

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A defining moment in the life of Tampa Bay Lightning Coach Jon Cooper came when his former bosses at Prudential Securities asked that he get a Series 7.

Film By Two Women Has Wall Street Talking

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"Equity," a movie about a female investment banker whose IPO is in jeopardy, is the product of interviews and meetings with dozens of former and current dealmakers.

King Financial Network Joins Commonwealth

by FA Staff

Commonwealth Financial Network announced the addition of Manalapan, N.J.-based King Financial Network.

Broker-Dealers Derive Big Income From Revenue-Sharing Deals

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Broker-dealers can earn many multiples more from their direct-participation program revenue-sharing arrangements than they do from mutual funds, a review of disclosure documents reveals.

LPL To Pay $11.7 Million Sanction For 'Widespread' Supervision Failures

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LPL Financial must pay $11.7 million for "widespread supervisory failures," including sales of risky ETFs and other complex securities, Finra said.

Cook Joins Sage Private Wealth Group

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Roy E. Cook Jr. will join the offices of Sage Private Wealth Group in Wheaton, Ill.

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